Reg BI

There are Recent Customer Complaints with Broker Dana Pelkey in Firm LPL Enterprise, LLC

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dana Pelkey (Pelkey), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pelkey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $35,415.13 on November 27, 2023.

Customer alleges that the rep quoted an incorrect premium when the policy was sold, which caused the policy to lapse.

Broker Salvatore Gambino in Aegis Capital Corp. Firm Has Customer Complaint

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Salvatore Gambino (Gambino), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one regulatory event, alleging that Gambino recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 27, 2023.

Without admitting or denying the findings, Gambino consented to the sanctions and to the entry of findings that he made unsuitable recommendations in speculative alternative investments to three firm customers that were inconsistent with the customers’ investment profiles. The findings stated that Gambino’s recommendations to purchase Automotive Portfolio limited partnership interests to the customers were unsuitable for the customers based on their age, income, net worth, risk tolerance, status as an unaccredited investor, and because Gambino’s recommendation to one of the customers resulted in the over-concentration of his liquid net worth in alternative investments.

Broker James Pepperman in J. Alden Associates, INC. Firm Has Customer Complaint

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pepperman (Pepperman), currently associated with J. Alden Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pepperman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $644,610.00 on November 27, 2023.

James Pepperman was the registered representative for the plaintiff to where the client invested in a private fund. This fund invested a portion of its assets into another private fund in which the portfolio manager was charged by the Securities and Exchange Commission with defrauding investors and who pled guilty to securities fraud and was sentensed to 109 months in prison and ordered to pay $47.2 million in restitution. The senencing date was January 20, 2022.

Broker Matthew Kutcher in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Kutcher (Kutcher), currently associated with Wells Fargo Clearing Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kutcher recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on November 27, 2023.

Claimants allege that during an unspecified period of time unsuitable investments were made.

There are Recent Customer Complaints with Broker William Hutchingson in Firm Cetera Investment Services LLC

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hutchingson (Hutchingson), currently associated with Cetera Investment Services LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hutchingson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on November 27, 2023.

Claimant alleged the investment’s risks were misrepresented.

Broker Robert Silvestri in Aegis Capital Corp. Firm Has Customer Complaint

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Silvestri (Silvestri), previously associated with Aegis Capital Corp., has at least one disclosable event. These events include one regulatory event, alleging that Silvestri recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on November 21, 2023.

Without admitting or denying the findings, Silvestri consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection to its investigation into whether he borrowed funds from a customer.

There are Recent Customer Complaints with Broker Enyinnaya Kanu in Firm Capital City Securities, LLC

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enyinnaya Kanu (Kanu), currently associated with Capital City Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kanu recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $525,000.00 on November 28, 2023.

The four customers of Kanu were [REDACTED]/Rossini Management Group, LTD, [REDACTED], [REDACTED], and [REDACTED] suffered option trading loses in their Kanu Asset Management, LLC (an IA that is unaffiliated to Capital City Securities, LLC) accounts in an option trading strategy that they did not approve.

There are Recent Customer Complaints with Broker Scott Wendelin in Firm Wells Fargo Clearing Services, LLC

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Wendelin (Wendelin), currently associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wendelin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $495,000.00 on November 17, 2023.

Claimant alleges that the Financial Advisor recommended that she hold investments that were improper and unsuitable in a portfolio that underperformed, and at times, disregarded the purported duty to monitor and make suitable investment recommendations.

Broker Bradley Weisman in Fsc Securities Corporation Firm Has Customer Complaint

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Weisman (Weisman), previously associated with Fsc Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Weisman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on November 28, 2023.

The Claimant alleges that the financial professional sold him an alternative investment that was unsuitable.

There are Recent Customer Complaints with Broker Cheryl Kitashima in Firm Centaurus Financial, INC.

August 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cheryl Kitashima (Kitashima), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kitashima recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on November 27, 2023.

The customer alleges that the Registered Representative recommended an unsuitable, high-risk, speculative, illiquid investment and breached her fiduciary duty. No specific dates for the alleged activity were identified in the Statement of Claim.